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SEC Reference Documents

SEC Reference Document:
http://www.sec.gov/divisions/enforce/datadeliverystandards.pdf

All scanned paper, email and native file collections should be converted/processed to TIFF files, Bates numbered, and include fully searchable text. Additionally, email and native file collections should include linked native files.

  1. Images
    Images should be single-page, Group IV TIFF files, scanned at 300 dpi.
  2. Concordance Image® Cross-Reference File
    The image cross-reference file is needed to link the images to the database. It is a comma-delimited file consisting of seven fields per line. There must be a line in the cross-reference file for every image in the database.
  3. Data File
    The data file (.DAT) contains all of the fielded information that will be loaded into the Concordance® database.
  4. Text
    Searchable text of the entire document must be provided for every record, at the document level.

SEC Enforcement Manual:
http://www.sec.gov/divisions/enforce/enforcementmanual.pdf

The Enforcement Manual (“Manual”) is designed to be a reference for the staff in the U.S. Securities and Exchange Commission’s (“SEC”) Division of Enforcement (“Division” or “Enforcement”) in the investigation of potential violations of the federal securities laws. It contains various general policies and procedures and is intended to provide guidance only to the staff of the Division. It is not intended to, does not, and may not be relied upon to create any rights, substantive or procedural, enforceable at law by any party in any matter civil or criminal.

Other Resources:

http://www.hklaw.com/content/whitepapers/SECInvestigationsofPublicCompanies2.pdf

Electronic discovery (e-discovery), and the risks of failing to properly retain and produce electronically stored information (ESI), is frequently discussed in the context of state and federal court litigation. It is also an increasingly prevalent issue in Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) investigations.

Links:

ImageMAKER U.S. Securities and Exchange Commission Data Delivery Standards
ImageMAKER Discovery Assistant home page